SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Brady Christopher D.

(Last) (First) (Middle)
C/O TEMPUS APPLIED SOLUTIONS HOLDINGS,
INC. 133 WALLER MILL ROAD, SUITE 400

(Street)
WILLIAMSBURG VA 23185

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Tempus Applied Solutions Holdings, Inc. [ TMPS ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
06/23/2016
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 06/23/2016 J(1) 942,138 A (1) 2,848,396 I See footnote(2)
Common Stock 06/23/2016 J(1) 188,428 A (1) 3,036,824 I See footnote(2)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series B-2 Warrant (1) 06/23/2016 J(1) 192,710 07/31/2015 10/31/2016 Common Stock or Series A Convertible Preferred Stock 942,138(1) $0 0 I See footnote(2)
Series B-3 Warrant (1) 06/23/2016 J(1) 38,542 08/14/2015 10/31/2016 Common Stock or Series A Convertible Preferred Stock 188,428(1) $0 0 I See footnote(2)
1. Name and Address of Reporting Person*
Brady Christopher D.

(Last) (First) (Middle)
C/O TEMPUS APPLIED SOLUTIONS HOLDINGS,
INC. 133 WALLER MILL ROAD, SUITE 400

(Street)
WILLIAMSBURG VA 23185

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
X Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Chart Group, LP

(Last) (First) (Middle)
555 5TH AVENUE, 19TH FLOOR

(Street)
NEW YORK, NY 10017

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Chart Acquisition Group LLC

(Last) (First) (Middle)
555 5TH AVENUE, 19TH FLOOR

(Street)
NEW YORK, NY 10017

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
Explanation of Responses:
1. On June 23, 2016, the Reporting Person exercised (i) Series B-2 Warrants into 942,138 shares of common stock, and (ii) Series B-3 Warrants into 188,428 shares of common stock, pursuant to a formula contained in the respective warrants that did not require the payment of any cash consideration or the withholding of warrant shares upon such exercise.
2. Mr. Brady indirectly owns these securities through his membership interests in Antwerp L.L.C., the general partner of The Chart Group, L.P., which is the sole managing member of Chart Acquisition Group LLC.
/s/ Christopher D. Brady 06/24/2016
The Chart Group, L.P. By: Antwerp L.L.C., general partner By: /s/ Christopher D. Brady, Chief Executive Officer 06/24/2016
Chart Acquisition Group LLC By: The Chart Group, L.P., sole managing member By: Antwerp L.L.C., general partner By: /s/ Christopher D. Brady, Chief Executive Officer 06/24/2016
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.